Mar 19, 2013 4:13pm

The Blotter Report: It’s a Greedy, Greedy Game

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Dec 16, 2014

Busted: Alts Manager Taken Away in Handcuffs

Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and....More
Dec 09, 2014

SEC Examination Schedule Unlikely to Change. But Does It Need to?

Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team....More
Nov 21, 2014

Dawn Bennett: Dallas Cowboys Lawsuit 'Should Never Have Been Filed'

In a statement from her spokesperson, Dawn Bennett said the Dallas Cowboys were retracting their $7.3 million lawsuit and said it "never should have....More
Nov 10, 2014

SEC Remains Undecided on Fate of Fiduciary Standard

The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard....More
Nov 05, 2014

State Securities Caseload Down Even as Jail Time Increases

State regulators’ enforcement actions were down almost 13 percent in 2013, yet the average length of incarceration for securities crimes more than....More
Oct 23, 2014

Fiduciary Advocates: We Need a New Strategy

The brokerage industry outspends RIAs 50 to one in lobbying dollars, and the press hasn't done a good job covering the fiduciary debate, advocates....More
Oct 20, 2014

Is More Regulation Really Necessary to Protect Investors?

The Financial Planning Coalition is advocating for new regulatory standards for financial planners, contending new research shows investors are....More
Oct 02, 2014

FSI Responds to CARDS by Forming Task Force

FSI formed a task force of broker/dealer executives to analyze and respond to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal....More
Sep 04, 2014

The SEC Needs to Fix the Problem It Created

Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara....More
Aug 18, 2014

The Blotter Report: Dirty Rotten Liars

A self-titled financial coach is in trouble over some shady financial advice while a Missouri who took off over his con starting unraveling takes a....More
Aug 05, 2014

FSI Taps Antoniades to Replace Brown on Board

The Financial Services Institute elected Cetera Financial Group President Adam Antoniades to serve as vice chair on its board of directors, replacing....More
Jul 31, 2014

Blotter Report: The Deathdealer

A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.”....More
Jul 09, 2014

The Blotter Report: Where Did it All Go Wrong?

The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA....More
Jul 07, 2014

RIAs Increase Compliance Staff, Training

RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a....More
Jun 27, 2014

SEC May Lack Sufficient Data for Fidiciary Rule, Industry Groups Cry Foul

A senior official with the Securities Exchange Commission told Congress Thursday the regulator may not have sufficient data to move ahead on....More
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Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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